Monthly Catalog, United States Public Documents
Monthly Catalog, United States Public Documents

Author: United States. Superintendent of Documents

Publisher:

Published: 1973

Total Pages: 1282

ISBN-13:

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February issue includes Appendix entitled Directory of United States Government periodicals and subscription publications; September issue includes List of depository libraries; June and December issues include semiannual index

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Author: Angela A. Hung

Publisher: Rand Corporation

Published: 2008-03-12

Total Pages: 151

ISBN-13: 0833045016

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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.

Code of Federal Regulations
Code of Federal Regulations

Author:

Publisher:

Published: 2002

Total Pages: 1016

ISBN-13:

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Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries.